GF
Grant E. Finney
HILLTOP SECURITIES
Dallas, TX 75225
Some features on this profile are disabled
CRD#: 7075576
GF
Professional summary
Grant Everette Finney, who also goes by Grant Finney, is a registered financial advisor currently at HILLTOP SECURITIES INC. located in Dallas, Texas.
Grant is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Grant has worked at 3 firms and has passed the Series 66, Series 63, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Grant Finney
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1] Mobile Notary; Non-Investment Related, 1327 Waterdown Drive Allen, TX 75013, Owner, Mobile Notary Personal Business, Start Date 9/26/2025, 30 hrs/mo Non-Business, 0 hrs/mo Trading.
CRS (Client Relationship Summary) - RIA
Click below to view Grant Everette Finney's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Grant Everette Finney's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
March 4, 2022 - Present
HILLTOP SECURITIES INC.
Office #1: 8201 Preston Rd. Suite 600, Dallas, TX 75225RIA
BD
CRD#: 6220
Dallas, TX
Current
December 16, 2021 - Present
HILLTOP SECURITIES INC.
Office #1: 8201 Preston Rd. Suite 600, Dallas, TX 75225RIA
BD
CRD#: 6220
Dallas, TX
Past
July 28, 2020 - November 19, 2020
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
WESTLAKE, TX
Past
May 3, 2019 - November 19, 2020
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
WESTLAKE, TX
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
HILLTOP SECURITIES INC.
HILLTOP SECURITIES INC. | SWS SECURITIES, INC. | SWS SECURITIES INC. | SOUTHWEST SECURITIES, INC.
CRD#: 6220 / SEC#: 801-55529, 8-45123
RIA
Registered Investment Advisory firm - SEC (6/10/1998 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(8/9/2023)
RR
California(7/28/2023)
RR
Colorado(9/21/2023)
RR
District of Columbia(8/3/2023)
RR
Florida(7/28/2023)
RR
Georgia(7/31/2023)
RR
Kentucky(8/4/2023)
RR
Michigan(10/25/2023)
RR
Missouri(10/11/2023)
RR
Montana(8/1/2023)
RR
Nevada(9/19/2023)
RR
New Jersey(9/19/2023)
RR
New York(7/27/2023)
RR
North Carolina(7/31/2023)
RR
Oklahoma(8/7/2023)
RR
Oregon(7/27/2023)
RR
Pennsylvania(7/31/2023)
RR
Rhode Island(7/31/2023)
RR
Texas(3/4/2022)
IAR
Texas(3/4/2022)
RR
Virginia(7/27/2023)
RR
Washington(12/7/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 5/3/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
HILLTOP SECURITIES INC.
HILLTOP SECURITIES INC. | SWS SECURITIES, INC. | SWS SECURITIES INC. | SOUTHWEST SECURITIES, INC.
CRD#: 6220 / SEC#: 801-55529, 8-45123
RIA
Registered Investment Advisory firm - SEC (6/10/1998 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
717 N. Harwood Street Suite 3400, Dallas, TX 75201
Mailing Address
717 Harwood Street Suite 3400, Dallas, TX 75201
Phone number
(214) 953-4000
Established
Delaware since 12/31/1991
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
91
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HILLTOP SECURITIES HOLDINGS, LLC | PARENT | |
| ALEXANDER, LAURA BONNELL | BOARD DIRECTOR | 2900382 |
| BARTOLOTTA, MICHAEL GEORGE | BOARD DIRECTOR | 1620103 |
| COYA, SCOTT ANDREW | CHIEF COMPLIANCE OFFICER | 2511281 |
| EDGE, JOSEPH MICHAEL | CHIEF FINANCIAL OFFICER | 4326551 |
| EDGE, JOSEPH MICHAEL | BOARD DIRECTOR | 4326551 |
| LEVENTHAL, LAURA | BOARD DIRECTOR | 1175259 |
| LEVENTHAL, LAURA | TREASURER/CHIEF ACCOUNTING OFFICER/PRINCIPAL FINANCIAL OFFICER | 1175259 |
| MEDANICH, DAVID KING | BOARD DIRECTOR | 1030727 |
| MUSCHALEK, JOHN RICHARD | BOARD DIRECTOR | 2226859 |
| PINEDA, ROMEO LINSANGAN | PRINCIPAL OPERATIONS OFFICER | 2193669 |
| SOBEL, JONATHAN SCOTT | CHAIRMAN | 1540818 |
| WINGES, MARTIN BRADLEY | CEO/PRESIDENT/DIRECTOR | 1929509 |
| WITTNEBEN, BRIAN LANE | GENERAL COUNSEL/SECRETARY | 4861905 |
Regulatory assets under management
| Total Number of Accounts | 5,181 |
| AUM (Assets Under Management) | $ 2,254,166,069 |
Disclosures
| Regulatory Event | 56 |
| Arbitration | 22 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/21/2025 | ||
| 07/26/2024 | ||
| 07/20/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
HILLTOP SECURITIES INC.
CRD#: 6220Dallas, TX 75225TRUST BUT VERIFY
Monitor Grant Finney
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
